Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Settles with Bitcoin/Litecoin Exchange Operator

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Broker-Dealer, Consumer Protection The SEC recently announced a settlement in connection with the operation of unregistered virtual-currency-based stock exchanges. The settlement is instructive as to how the SEC will evaluate crypto-currency trading platforms (spoiler alert: the same way they evaluate all other trading platforms) and also as to the benefits of full cooperation with the SEC in the […] Read more →

by   |   December 13, 2014

NYSE to Make Late Filings Rule Applicable to Form 10-Q and Defective Filings

Public Companies and Securities The NYSE proposes to amend its continued listing requirements in relation to the late filing of a company’s annual report with the SEC as set forth in Section 802.01E, or the... Read more →

by   |   December 13, 2014

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SEC Commissioner Wonders Whether Harvard Violated Securities Laws

Public Companies and Securities SEC Commissioner Daniel M. Gallagher and Joseph A. Grundfest, Stanford Law School, Rock Center for Corporate Governance, have just published a paper titled “Did Harvard Violate... Read more →

by   |   December 11, 2014

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SEC Makes Municipal Advisor Compliance Transcript Available

Municipal Advisors On November 3, 2014, the SEC, MSRB and FINRA held a compliance outreach program for municipal advisors. The SEC has made an unofficial transcript of the event available here.... Read more →

by   |   December 9, 2014